Form Type: 4

SEC EDGAR Link
Accession Number:0000899243-22-035874
Date:2022-11-11
Issuer: CONFLUENT, INC. (CFLT)
Original Submission Date:

Reporting Person:

VOLPI MICHELANGELO
C/O CONFLUENT, INC.
899 W. EVELYN AVENUE MOUNTAIN VIEW, CA 94041

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON STOCK 2022-11-11 S 52,983 d $22.58 87,528 indirect f2
CLASS A COMMON STOCK 2022-11-11 S 87,528 d $23.27 0 indirect f2
CLASS A COMMON STOCK 2022-11-11 S 9,102 d $22.58 15,038 indirect f4
CLASS A COMMON STOCK 2022-11-11 S 15,038 d $23.27 0 indirect f4
CLASS A COMMON STOCK 2022-11-11 0 $0.00 59,059 direct
CLASS A COMMON STOCK 2022-11-11 0 $0.00 27,302 indirect f5
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $22.25 - $22.99. the reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
f2 the shares are held by index ventures vii (jersey) l.p. ("index vii"). index venture associates vii limited ("iva vii") is the general partner of index vii. the reporting person is a partner within the index ventures group. advisors within the index ventures group provide advice to each of index vii, index ventures vii parallel entrepreneur fund (jersey), l.p. ("index vii parallel") and index ventures growth iv (jersey) l.p. ("index growth iv"). the reporting person disclaims section 16 beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for section 16 or any other purpose.
f3 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $23.00 - $23.5972. the reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
f4 the shares are held by yucca (jersey) slp ("yucca"). yucca is the administrator of the index co-investment vehicles that are contractually required to mirror the relevant index funds' investment in the issuer. the reporting person disclaims section 16 beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for section 16 or any other purpose.
f5 the shares are held by the volpi-cupal family trust, of which the reporting person serves as trustee. the reporting person disclaims section 16 beneficial ownership of these shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares for section 16 or any other purpose.
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